Risk & Compliance

Articles

Data protection, client information, and subject access requests

Jonathan Swift QC considers the lines of defence available to firms faced with a subject access request, and whether they should be treated as data controllers at all

Listen to the warning bells

The SDT was kind to a conveyancer who ignored so many red flags and got off with only a moderate fine; others may not be so lucky, says Jean-Yves Gilg

Leigh Day denies paying 'bribes' to Iraqi fixer

'Frustrated' partner tells tribunal not to attach 'legal meaning' to word found in email

Leigh Day 'should have spotted' OMS list

'An insignificant document turned out to be significant,' senior partner tells tribunal

Shiner judgment holds a stark message for solicitors

The duty to disclose evidential issues affecting a client's case is onerous, but solicitors engaging in public law litigation must be aware of it, warns Patrick Gaul

Guilty verdicts will 'flood' SDT with minor negligence allegations

Tribunal should only deal with cases involving 'manifest' misconduct, says Leigh Day's silk

What makes an effective compliance team?

Tracey Calvert explains how to reach a position of harmony between compliance professionals and the rest of the firm

Politically exposed persons and enhanced due diligence

The Fourth Money Laundering Directive allows firms to take a more nuanced approach to assessing the risks posed by PEPs, explains Michael Sinha